Compliance questionnaire - Quiz

True or False:

All types of transactions will be returned on Compliance level and Operations level if the compliance questionnaire is not filled

• True

• False

• Maybe

True or False:

It is the operations responsibility to check if the compliance questionnaire is filled, IC/Visa team included

• True

• False

• Maybe

True or False:

Operations will return the application to Compliance team is the note ''RA Filling is complete'' is missing

• False

• True

• Maybe

True or False:

We will accept submissions from stakeholders on behalf of their partners as long as the data (email, phone) are correct

• True

• False

• Maybe

True or False:

It is acceptable in cases of multiple managers for one of them only to tick the manager box in the questionnaire

• False

• True

• Maybe

True or False:

For stakeholders who have multiple companies, we will deal with each company individually

• True

• False

• Maybe

True or False:

Compliance will be responsible for removing the notification from the CRM during the application processing

• True

• False

• Maybe

For the compliance questionnaire, Submission must be done for:

• All Managers

• All Directors

• All Shareholders

• All Stakeholders

Phone number and email for all Sh/Mgr/Dir must be matching:

• ERP

• CRM

• ERP & CRM

Compliance questionnaire is applicable for:

• All Companies

• New Companies only

• Existing Companies only